SEC Form 4 · accession 0001123292-15-000311
Colony Capital, Inc. · CLNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Barrack Jr.
Officer — Executive Chairman · Director
Period of report
Feb 4, 2015
Accepted (ET)
Feb 5, 2015 · 5:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001467076
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 4, 2015 | J | 24,662 | $0.00 | A | 24,662 | I | By Colony Financial Manager, LLC |
| Common Stock | holding | — | — | — | 501,429 | I | By Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Colony Financial Manager, LLC (the "Manager") is the direct owner of these reported securities. Colony Capital, LLC ("Colony Capital") is the managing member of the Manager, and Thomas J. Barrack, Jr. ("Mr. Barrack") is the sole managing member of Colony Capital. Accordingly, Mr. Barrack may be deemed to beneficially own all of the reported securities. This filing shall not be deemed an admission that Mr. Barrack is the beneficial owner of any securities beneficially owned by the Manager except to the extent of his pecuniary interest therein. The reported securities acquired represent the automatic return of unvested securities to the Manager in accordance with the forfeiture terms in the Restricted Stock Agreement of a Colony Capital employee whose employment with Colony Capital ceased on February 4, 2015.